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Harold Thornburg

Chairman,director at Thornburg Investment Management

No current adviser or broker registrationSEC record checked 17 October 2026

0
Past adviser firms
7
Licensing exams

IAPD record retrieved 17 October 2026SEC record

Harold Thornburg is Chairman,director of Thornburg Investment Management Inc, a Santa Fe investment adviser managing $54.5B. Harold Thornburg has passed 7 licensing exams.

Role at Thornburg Investment Management

Title on Schedule A
Chairman,director
Control
Harold Thornburg is a control person of Thornburg Investment Management.
Ownership
An individual ownership band is not available in the source record.
Tenure
Harold Thornburg has held the filed role since August 1997.

The firm

Thornburg Investment Management Inc
Santa Fe, NM

Form ADV filed 27 March 2026

$54.5B AUM635 clients40 advisers1 offices

Career on record

Firms and exams, newest first
  1. Passed Series 7TO and Series 6TO · 2023
  2. Passed SIE · 2018
  3. Passed Series 63 and Series 24 · 1987
  4. Passed Series 26 · 1984
  5. Passed Series 7 · 1979

Registrations and exams

No current adviser or broker registration. Harold Thornburg has passed 7 qualifying exams.

Examinations

Series 6314 January 1987
Name
Uniform Securities Agent State Law Examination
Series 2429 January 1987
Name
General Securities Principal Examination
Series 2630 April 1984
Name
Investment Company Products/Variable Contracts Principal Examination
Series 7TO2 January 2023
Name
General Securities Representative Examination
Series 6TO2 January 2023
Name
Investment Company Products/Variable Contracts Representative Examination
SIE1 October 2018
Name
Securities Industry Essentials Examination
Series 715 December 1979
Name
General Securities Representative Examination

Individual record

Full name
Harold Garrett Thornburg
CRD
702672
Firm
Thornburg Investment Management Inc
Registration status
No current adviser or broker registration

This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov

Common questions

Where does Harold Thornburg work?

Harold Thornburg has been Chairman,director of Thornburg Investment Management Inc since August 1997, and is a control person of the firm.

Source: Form ADV, Schedule A, filed 27 March 2026

Does Harold Thornburg have a current investment-adviser registration?

Harold Thornburg has no current investment-adviser or broker registration, as of 17 October 2026.

Source: IAPD individual record, checked 17 October 2026

What exams has Harold Thornburg passed?

Harold Thornburg has passed 7 licensing exams: the Series 7, Series 26, Series 63, Series 24, SIE, Series 7TO and Series 6TO. The earliest, the Series 7, was passed in December 1979.

Source: IAPD individual record, checked 17 October 2026

Leadership at Thornburg Investment Management

Sources

  1. IAPD individual record, CRD 702672. Registration status, employment history and examinations.
  2. Form ADV Part 1A, Schedules A and B of Thornburg Investment Management Inc, filed 27 March 2026. Title, control and ownership bands.

Retrieved 17 October 2026. The SEC record may have been amended since.

Report a correction

This profile is compiled from public regulatory records and the firm's own published materials, and is provided for informational purposes only. Niva Wealth is not affiliated with Harold Thornburg or Thornburg Investment Management Inc and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.